FINRA

Events for July 29, 2026

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AI Adoption in Practice Webinar Series

Join FINRA staff and member firms for conversations about artificial intelligence (AI) adoption in the securities industry. This virtual three-part series brings regulatory experts and practitioners together to share real experiences and practical solutions.

These events are open to FINRA member firms only. Participants must provide their firm's broker-dealer number when registering.

FINRA Category: Conferences and Events

Add to Calendar: https://www.finra.org/calendar/ical/381126/calendar.ics

Source: https://www.finra.org/compliance-tools/compliance-calendar

Annual Reports Due

SEC-required filing of financial statements and required schedules and reports. Prepared based on broker-dealer's fiscal year.

FINRA Category: Regulatory Filings

Add to Calendar: https://www.finra.org/calendar/ical/376241/calendar.ics

Source: https://www.finra.org/compliance-tools/compliance-calendar

SIS Filings Due

FINRA-required filing for firms with a minimum dollar net capital requirement of $100,000 or more. Submitted on same schedule as FOCUS Report filing schedule applicable to each firm.

FINRA Category: Regulatory Filings

Add to Calendar: https://www.finra.org/calendar/ical/376006/calendar.ics

Source: https://www.finra.org/compliance-tools/compliance-calendar

SSOI Filings Due

FINRA-required filing—for all FINRA members—that includes detailed information about the source of broker-dealer revenue and the nature of its expenses.

FINRA Category: Regulatory Filings

Add to Calendar: https://www.finra.org/calendar/ical/376116/calendar.ics

Source: https://www.finra.org/compliance-tools/compliance-calendar